CRD #599 · FINRA BrokerCheck + SEC IAPD

Wamu Investments, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wamu Investments, Inc. ranks #183 of 20,055 by disclosure count (most disclosures first). Wamu Investments, Inc. carries 31 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
31
disclosures
#183 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 599 Wamu Investments, Inc.

Wamu Investments, Inc. · Grade F · 31 disc · 31.00/office · Single-office firm

  • CRD 599
  • GRADE F
  • DISC 31
  • REG 13
  • ARB 18
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #183 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: Centex Securities, Incorporated (31.00 disc/office)

Centex Securities, Inco…31.00Invest Financial Corpor…31.00SLK-Hull Derivatives LLC31.00Wamu Investments, Inc. (this)31.00
Disclosures per office among single-office firm peers (lower is cleaner)

Wamu Investments, Inc. ranks #183 of 20,055 by disclosure count among graded broker-dealers; heavy load at 31.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

31 events

On FINRA BrokerCheck

Regulatory events

13 actions

42% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 18
Civil Events 0
Total 31

Counts for Wamu Investments, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 13 Arbitration 18 Civil 0

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
06/12/1944
State of Formation
Washington
CRD Number
599
SEC Number
3641

Heavy disclosure book

Wamu Investments, Inc. in the heavier-disclosure third

Wamu Investments, Inc. carries 31 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#183 of 20,055). Mix is 13 regulatory, 18 arbitration, and 0 civil (42% regulator share).

Wamu Investments, Inc. ranks #183 of 20,055 by BrokerCheck disclosure count among graded firms (31 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Wamu Investments, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Wamu Investments, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Wamu Investments, Inc. ranks #183 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Wamu Investments, Inc.?
A grade of F reflects Wamu Investments, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 31 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Wamu Investments, Inc. have?
Wamu Investments, Inc. has 31 total FINRA disclosures, including 13 regulatory events, 18 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Wamu Investments, Inc.?
Wamu Investments, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Wamu Investments, Inc.'s disciplinary record?
You can verify Wamu Investments, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 599. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Wamu Investments, Inc.'s 31 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Wamu Investments, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Wamu Investments, Inc. carries 31 disclosures across 0 branch offices (about 31.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.